WWIW FINRA DISPUTE RESOLUTION CASE: 10-03661 Weils Fargo Advisors Financial Network, LLC, f/n/a Wachovia Securities Financial Network, LLC ("Claimant") vs. Lee Jenkins ("Respondent") REPRESENTATION OF PARTIES: For Wells Fargo Advisors Financial Network, LLC, f/n/a Wachovia Securities Financial Network, LLC: Gregory S. Tendrich, Esq., Gregory Tendrich, P.A. Boca Raton, Florida. Respondent Lee Jenkins did not appear. NATURE OF DISPUTE: Member vs. Associate

Award Data Award: $8,249.59 Interest: at the rate of 3.101 % from October 19, 2009 until the Award is paid Attorneys' Fees: $0.00 Costs: $0.00 Other: $0.00 AWARD: The undersigned Arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimant compensatory damages of $8,249.59. 2) Respondent is liable for and shall pay to Claimant interes

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Juliana Attwood (Claimant) vs. Hapoalim Securities USA, Inc. (Respondent) Case Number: 09-07082 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Juliana Attwood, hereinafter referred to as "Claimant": Ethan A. Brecher, Esq., Liddle & Robinson, L. L. P., New York, NY. Respondent Hapoalim Securities USA, Inc.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01666 Weils Fargo Advisors, LLC Name of the Respondent Hearing Site: Phoenix, Arizona Scott Randall Moore Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors, LLC, hereinafter referred to as "Claimant": Renan I. Sugarman, Esq., Law Offices of Renan I. Sugarman, Chicago, Illinois

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-03541 Jonathan R. Zingeser Respondents Hearina Site: Portland, Oregon Pacific West Securities. Inc. Harold S. Hilton Philip A. Pizelo Shanon L. Ford Mark T. McCloskey Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Jonathan R. Zingeser, hereinafter referred to as "Claimant": Irwin Stei

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number: 09-04731 Hildur M. French Respondents Hearing Site: Los Angeles, California The Securities Center, Inc. James Biddle Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Hildur M. French, hereinafter referred to as "Claimant": Jonathan Schwartz, Esq., Law Offices of Jonathan Schwartz, Marina del Rey, C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00243 Michael L. Patnode Name of the Respondents Hearing Site: San Francisco, California E*Trade Securities LLC Jerry P. Anderson Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Michael L. Patnode, hereinafter referred to as "Claimant": Robert V. Cornish, Jr., Esq., Dilworth Pax

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-03964 Banc of America Investment Services, Inc. (n/k/a Merrill Lynch, Pierce, Fenner & Smith Incorporated) Respondent Hearing Site: Albuquerque, New Mexico Curtis V. Lund Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Banc of America Investment Services, Inc. (n/k/a Merrill Lynch, Pierce, Fe

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-04956 D. Ward Haarbauer Cecil L. Wyatt Nellie J. Wyatt Walton Miller Name of the Respondent Hearing Site: Birmingham, Alabama Morgan Keegan & Company Inc. James C. Keisoe, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For D. Ward Haarbauer ("Haarbauer"), Cecil L. Wyatt ("

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-00137 Wayne Welsher and Patsy Welsher Robert Maughan Raymond Gaskins, Jr. and Carolyn Gaskins P.W. Jessup and Martha Jessup Name of the Respondent Hearing Site: Raleigh, North Carolina Raymond James & Associates, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Wayne Welsher & Patsy Welsher, her